0001549408-21-000002.txt : 20210212 0001549408-21-000002.hdr.sgml : 20210212 20210212153750 ACCESSION NUMBER: 0001549408-21-000002 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20201231 FILED AS OF DATE: 20210212 DATE AS OF CHANGE: 20210212 EFFECTIVENESS DATE: 20210212 FILER: COMPANY DATA: COMPANY CONFORMED NAME: ALETHEA CAPITAL MANAGEMENT, LLC CENTRAL INDEX KEY: 0001549408 IRS NUMBER: 275349670 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-16431 FILM NUMBER: 21626614 BUSINESS ADDRESS: STREET 1: 8910 UNIVERSITY CENTER LN STREET 2: STE 400 CITY: SAN DIEGO STATE: CA ZIP: 92122-1025 BUSINESS PHONE: 858-926-2058 MAIL ADDRESS: STREET 1: 8910 UNIVERSITY CENTER LN STREET 2: STE 400 CITY: SAN DIEGO STATE: CA ZIP: 92122-1025 FORMER COMPANY: FORMER CONFORMED NAME: Alethea Capital Management, LLC DATE OF NAME CHANGE: 20120507 13F-HR 1 primary_doc.xml 13F-HR LIVE false true true 0001549408 XXXXXXXX 12-31-2020 12-31-2020 ALETHEA CAPITAL MANAGEMENT, LLC

8910 UNIVERSITY CENTER LN STE 400 SAN DIEGO CA 92122-1025

13F HOLDINGS REPORT 028-16431 N RINA KAWANO 858-926-2058 Rina Kawano San Diego CA 02-12-2021 0 89 199461 false INFORMATION TABLE 2 AletheaCapitalManagement_13f.xml 2020 Q4 ISHARES TR RUSSELL 2000 ETF 464287655 1029 5250 SH SOLE 0 5250 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 313 1350 SH SOLE 0 1350 0 0 EVERSOURCE ENERGY COM 30040W108 300 3464 SH SOLE 0 3464 0 0 AMGEN INC COM 031162100 552 2400 SH SOLE 0 2400 0 0 CONAGRA BRANDS INC COM 205887102 1370 37779 SH SOLE 0 37779 0 0 INTEL CORP COM 458140100 299 6000 SH SOLE 0 6000 0 0 ILLINOIS TOOL WKS INC COM 452308109 510 2500 SH SOLE 0 2500 0 0 NEWELL BRANDS INC COM 651229106 420 19768 SH SOLE 0 19768 0 0 DISNEY WALT CO COM 254687106 598 3301 SH SOLE 0 3301 0 0 HONEYWELL INTL INC COM 438516106 723 3400 SH SOLE 0 3400 0 0 SYSCO CORP COM 871829107 260 3500 SH SOLE 0 3500 0 0 MEDTRONIC PLC SHS G5960L103 410 3500 SH SOLE 0 3500 0 0 PFIZER INC COM 717081103 202 5500 SH SOLE 0 5500 0 0 MICROSOFT CORP COM 594918104 667 3000 SH SOLE 0 3000 0 0 AT&T INC COM 00206R102 639 22207 SH SOLE 0 22207 0 0 CITIGROUP INC COM NEW 172967424 995 16134 SH SOLE 0 16134 0 0 CISCO SYS INC COM 17275R102 719 16071 SH SOLE 0 16071 0 0 COCA COLA CO COM 191216100 357 6502 SH SOLE 0 6502 0 0 PEPSICO INC COM 713448108 445 3000 SH SOLE 0 3000 0 0 BK OF AMERICA CORP COM 060505104 725 23924 SH SOLE 0 23924 0 0 EXXON MOBIL CORP COM 30231G102 589 14299 SH SOLE 0 14299 0 0 CAPITAL ONE FINL CORP COM 14040H105 5717 57837 SH SOLE 0 57837 0 0 CVS HEALTH CORP COM 126650100 669 9802 SH SOLE 0 9802 0 0 MERCK & CO. INC COM 58933Y105 245 3000 SH SOLE 0 3000 0 0 MORGAN STANLEY COM NEW 617446448 1944 28363 SH SOLE 0 28363 0 0 PROCTER AND GAMBLE CO COM 742718109 577 4150 SH SOLE 0 4150 0 0 KIMBERLY-CLARK CORP COM 494368103 607 4500 SH SOLE 0 4500 0 0 GILEAD SCIENCES INC COM 375558103 287 4922 SH SOLE 0 4922 0 0 HOME DEPOT INC COM 437076102 425 1600 SH SOLE 0 1600 0 0 JPMORGAN CHASE & CO COM 46625H100 470 3700 SH SOLE 0 3700 0 0 3M CO COM 88579Y101 700 4004 SH SOLE 0 4004 0 0 WASTE MGMT INC DEL COM 94106L109 531 4500 SH SOLE 0 4500 0 0 DUKE ENERGY CORP NEW COM NEW 26441C204 504 5500 SH SOLE 0 5500 0 0 APPLE INC COM 037833100 663 5000 SH SOLE 0 5000 0 0 DUKE REALTY CORP COM NEW 264411505 686 17157 SH SOLE 0 17157 0 0 CHUBB LIMITED COM H1467J104 1796 11666 SH SOLE 0 11666 0 0 CENTERPOINT ENERGY INC COM 15189T107 708 32715 SH SOLE 0 32715 0 0 KELLOGG CO COM 487836108 610 9801 SH SOLE 0 9801 0 0 EASTMAN CHEM CO COM 277432100 451 4500 SH SOLE 0 4500 0 0 EVEREST RE GROUP LTD COM G3223R108 1602 6844 SH SOLE 0 6844 0 0 BIOGEN INC COM 09062X103 245 1000 SH SOLE 0 1000 0 0 EATON CORP PLC SHS G29183103 541 4500 SH SOLE 0 4500 0 0 EATON VANCE CALIF MUN BD FD COM 27828A100 160 13579 SH SOLE 0 13579 0 0 CUMMINS INC COM 231021106 341 1500 SH SOLE 0 1500 0 0 PETROLEO BRASILEIRO SA PETRO SPONSORED ADR 71654V408 937 83399 SH SOLE 0 83399 0 0 SPDR GOLD TR GOLD SHS 78463V107 1900 10653 SH SOLE 0 10653 0 0 BLACKROCK INC COM 09247X101 505 700 SH SOLE 0 700 0 0 GARMIN LTD SHS H2906T109 1719 14363 SH SOLE 0 14363 0 0 BLACKROCK LTD DURATION INC T COM SHS 09249W101 183 11516 SH SOLE 0 11516 0 0 ISHARES SILVER TR ISHARES 46428Q109 1028 41831 SH SOLE 0 41831 0 0 HESS CORP COM 42809H107 550 10416 SH SOLE 0 10416 0 0 ALEXANDRIA REAL ESTATE EQ IN COM 015271109 1500 8419 SH SOLE 0 8419 0 0 DIGITAL RLTY TR INC COM 253868103 424 3036 SH SOLE 0 3036 0 0 WESTERN UN CO COM 959802109 868 39562 SH SOLE 0 39562 0 0 ISHARES TR SHORT TREAS BD 464288679 2270 20534 SH SOLE 0 20534 0 0 SPECTRUM PHARMACEUTICALS INC COM 84763A108 5251 1539949 SH SOLE 0 1539949 0 0 BLACKSTONE GROUP INC COM CL A 09260D107 525 8100 SH SOLE 0 8100 0 0 ISHARES TR MORTGE REL ETF 46435G342 278 8732 SH SOLE 0 8732 0 0 SPDR SER TR SPDR BLOOMBERG 78468R663 16866 184284 SH SOLE 0 184284 0 0 BGC PARTNERS INC CL A 05541T101 136 34052 SH SOLE 0 34052 0 0 WISDOMTREE TR EUROPE HEDGED EQ 97717X701 314 4734 SH SOLE 0 4734 0 0 MARATHON PETE CORP COM 56585A102 538 13000 SH SOLE 0 13000 0 0 ABBVIE INC COM 00287Y109 1322 12338 SH SOLE 0 12338 0 0 ALPHABET INC CAP STK CL C 02079K107 739 422 SH SOLE 0 422 0 0 KRAFT HEINZ CO COM 500754106 798 23029 SH SOLE 0 23029 0 0 KURA ONCOLOGY INC COM 50127T109 2207 67568 SH SOLE 0 67568 0 0 AXSOME THERAPEUTICS INC COM 05464T104 82268 1009799 SH SOLE 0 1009799 0 0 CIDARA THERAPEUTICS INC COM 171757107 2308 1154131 SH SOLE 0 1154131 0 0 EVERGY INC COM 30034W106 941 16951 SH SOLE 0 16951 0 0 RA MED SYS INC COM 74933X203 92 12320 SH SOLE 0 12320 0 0 DOW INC COM 260557103 294 5300 SH SOLE 0 5300 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 0 400 SH Put SOLE 0 400 0 0 AVIDITY BIOSCIENCES INC COM 05370A108 40096 1571160 SH SOLE 0 1571160 0 0 SPDR GOLD TR GOLD SHS 78463V107 0 400 SH Put SOLE 0 400 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 0 300 SH Put SOLE 0 300 0 0 SPDR GOLD TR GOLD SHS 78463V107 0 500 SH Call SOLE 0 500 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 0 300 SH Call SOLE 0 300 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 1 400 SH Call SOLE 0 400 0 0 SPDR GOLD TR GOLD SHS 78463V107 0 500 SH Put SOLE 0 500 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 0 400 SH Put SOLE 0 400 0 0 SPDR GOLD TR GOLD SHS 78463V107 0 400 SH Call SOLE 0 400 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 0 300 SH Call SOLE 0 300 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 0 300 SH Put SOLE 0 300 0 0 JPMORGAN CHASE & CO COM 46625H100 0 400 SH Put SOLE 0 400 0 0 AMGEN INC COM 031162100 2 500 SH Call SOLE 0 500 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 0 400 SH Call SOLE 0 400 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 0 400 SH Put SOLE 0 400 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 0 200 SH Call SOLE 0 200 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 0 200 SH Put SOLE 0 200 0 0